FINRA

Without admitting or denying the findings, Bodi consented to the sanctions and to the entry of findings that he exercised discretion without prior written authorization in connection with transactions in the accounts of customers of his member firm. The finding stated that Bodi previously discussed the trades with the customers, but he did not speak to the customers to obtain authorization for the trades on the specific days he executed them. None of the customers provided prior written authorization for Bodi to exercise discretion in their accounts, and the firm did not accept the accounts as discretionary.

Acceptance, Waiver & Consent(AWC)

Civil and Administrative Penalty(ies)/Fine(s)

$7,500.00

Suspension

All capacities

One month

2/3/2025

3/2/2025

LANDOLT SECURITIES, INC.

Discharged

The firm has concluded that violations by the representative related to off-channel communications have occurred.

FINRA

Without admitting or denying the findings, Bodi consented to the sanctions and to the entry of findings that he effected discretionary trades in the accounts of customers without obtaining prior written authorization from the customers and without acceptance of the accounts as discretionary by his member firm.

Acceptance, Waiver & Consent(AWC)

Civil and Administrative Penalty(ies)/Fine(s)

$5,000.00

Suspension

All capacities

15 business days

1/17/2017

2/6/2017

UNAUTHORIZED TRADING,UNSUITABLE INVESTMENTS FROM AUGUST 2008 THROUGH NOVEMBER 2009.

$157,045.98

$25,000.00

{CUSTOMER} WAS A CUSTOMER OF AN INVESTMENT ADVISORY FIRM THAT THE BROKER DEALER, CAPITAL CITY SECURITIES, LLC. PROVIDED BROKERAGE SERVICES FOR. THIS ARBITRATION SHOULD NOT HAVE BEEN FILED AGAINST THE BROKER DEALER.

CHICAGO BOARD OPTIONS EXCHANGE

SEE SUMMARY

Decision

Monetary/Fine

$5,000.00

Censure

THE SANCTION TO BE IMPOSED SHALL CONSIST OF A FIVE THOUSAND DOLLAR ($5,000) FINE AND A CENSURE.

THE SANCTION TO BE IMPOSED SHALL CONSIST OF A FIVE THOUSAND DOLLAR ($5,000) FINE AND A CENSURE.

FRANK J. BODI, A FORMER REGISTERED REPRESENTATIVE OF MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. ("ML") AND UBS PAINEWEBBER INC. ("UBSPW"), EXCHANGE MEMBER ORGANIZATIONS, AT ML'S CHAGRIN FALLS, OHIO BRANCH OFFICE AND AT UBSPW'S BEACHWOOD, OHIO BRANCH OFFICE, WAS CENSURED AND FINED $5,000 FOR THE FOLLOWING CONDUCT. IN OR ABOUT DECEMBER 2000, WHILE EMPLOYED AT UBSPW, BODI MADE A LOAN OF $5,000 CASH TO TWO PUBLIC CUSTOMERS WHO WERE ALSO FORMER CUSTOMERS OF BODI AT ML, IN VIOLATION OF ML AND UBSPW POLICY. IN ADDITION, IN OR ABOUT DECEMBER 2001, WHILE EMPLOYED AT UBSPW, RR BODI MADE A LOAN OF $5,700 CASH TO TWO PUBLIC CUSTOMERS WHO WERE ALSO FORMER CUSTOMERS OF RR BODI AT ML, IN VIOLATION OF ML AND UBSPW POLICY. (CBOE RULE 4.1 - JUST AND EQUITABLE PRINCIPLES OF TRADE.)

CLIENTS CLAIM INVESTMENTS WERE UNSUITABLE.

$100,000.00

$25,000.00

CLIENT ALLEGES OPTIONS WERE AN UNSUITABLE INVESTMENT.

$152,030.77

UBS FINANCIAL SERVICES INC.

Permitted to Resign

PAYMENTS TO CUSTOMER AND CUSTOMER COMPLAINTS.

IT WAS ALLEDGED THAT REPRESENTATIVE MADE A PAYMENT TO TWO CUSTOMERS IN VIOLATION OF FIRM POLICY IN DECEMBER 2000 AND NOVEMBER 2001. CUSTOMERS ALLEGE UNSUITABLE RECOMMENDATIONS.

CUSTOMER ALLEGE UNAUTHORIZED TRADING AND UNSUITABLE INVESTMENTS.

$200,000.00

$232,500.00

THIS MATTER WAS SETTLED TO AVOID THE TIME, EXPENSE AND UNCERTAINTY INHERENT IN LITIGATION.

CLIENTS ALLEGE MR. BODI MADE UNAUTHORIZED TRADES WHICH WERE ALSO UNSUITABLE, AND MADE CASH PAYMENTS TO THE CLIENTS.

$60,000.00

$61,500.00

MERRILL LYNCH

Voluntary Resignation

SEE SECTION #3 IN U-5. (RESIGNED DURING AN INTERNAL REVIEW AT MERRILL LYNCH.)

I RESIGNED VOLUNTARILY ON 9/1/00. I WAS UNAWARE OF ANY INTERNAL REVIEW, NOR WAS I APPROACHED BY ANYONE INTERNALLY AT MERRILL LYNCH THAT THERE WAS A PENDING REVIEW CONCERNING ME.

CUSTOMER ALLEGES FINANCIAL CONSULTANT DID NOT EXECUTE INSTRUCTIONS IN A TIMELY FASHION.

$75,000.00

CLAIMANTS ALLEGE THAT THEY WERE SOLD UNSPECIFIED UNSUITABLE SECURITIES AND SOUGHT $121,137 IN COMPENSATORY DAMAGES, $500,00 IN PUNITIVE DAMAGES UNSPECIFIED ATTORNEYS FEES, INTEREST AND COSTS.

$100,000.00

$26,905.00

$26,905.00 WAS AWARDED TO [CUSTOMER];ALL CLAIMS BY [CUSTOMER] WERE DISMISSED. REGISTRANT BELEIVES THAT THE AWARD IS CONTRARY TO LAW AND NOT SUPPORTED BY THE EVIDENCE PRESENTED.

CUSTOMER ALLEGES REGISTRANT FAILED TO MAKE PRUDENT RECOMMENDATIONS INCURRING AN UNRELAIZED LOSS OF $89,000.00.

$89,000.00

$60,000.00

$60,000 REGISTRANT DENIES ALL ALLEGATIONS OF WRONGDOING. HOWEVER, IN ORDER TO MAINTAIN A SIGNIFICANT CLIENT RELATIONSHIP AND TO AVOID THE TIME AND EXPENSE OF LITIGATION, REGISTRANT HAS AGREED TO BEAR THE ENTIRE COST OF THE SETTLEMENT.

CLAIMANT ALLEGES THAT FINANCIAL CONSULTANT TRADED IN HIS ACCOUNT WITHOUT AUTHROIZATION. DAMAGES ALLEGED TO BE $100,000. THIS OCCURRED AT MERRILL LYNCH.

$100,000.00

$20,000.00

$20,000.00. THE CASE WAS SETTLED TO AVOID THE TIME, EXPENSE AND UNCERTAINTY OF LITIGATION.